OTA Financial Group’s ClearBridge MLP and Midstream Fund Inc. CEM Stock Holding History

OTA Financial Group’s Portfolio CEM Stock Details CEM Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2022 Q4	–	Sell	-33,999	Closed	-$1.01M	–	108
2022 Q3	$1.01M	Buy	33,999 +11,877	+54%	+$384K	0.87%	18
2022 Q2	$635K	Buy	+22,122	New	+$743K	0.3%	23
2015 Q2	–	Sell	-2,359	Closed	-$294K	–	92
2015 Q1	$294K	Buy	+2,359	New	+$304K	0.16%	54
2014 Q1	–	Sell	-15,221	Closed	-$2.07K	–	117
2013 Q4	$2.07K	Buy	15,221 +12,214	+406%	+$1.64M	1.3%	13
2013 Q3	$400	Buy	+3,007	New	+$410K	0.22%	51

Other funds holding CEM

SCM

Saba Capital Management New York $3.62B AUM 13% 1-Year Est. Return

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return

MGAM

McGowan Group Asset Management Dallas, Texas $785M AUM 15.71% 1-Year Est. Return

Aristides Capital Louisville, Kentucky $462M AUM 28.94% 1-Year Est. Return

Terril Brothers St. Louis, Missouri $366M AUM 29.25% 1-Year Est. Return

Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return

1832 Asset Management Toronto, Ontario, Canada $109B AUM 35.56% 1-Year Est. Return

UBS Group Zurich, Switzerland $666B AUM 30.12% 1-Year Est. Return

TJHA

Thomas J. Herzfeld Advisors Miami Beach, Florida $294M AUM 2.62% 1-Year Est. Return

OTA Financial Group's CEM Position: Q4 2022 in Review

OTA Financial Group sold out of ClearBridge MLP and Midstream Fund Inc. (CEM) in Q4 2022, closing a stake of 33,999 shares — an estimated $1.01M sold.

OTA Financial Group first reported a position in CEM in Q3 2013 and held it in 5 quarters. The position peaked at $1.01M in Q3 2022. 75 funds tracked by Wall St. Rank hold CEM as of Q4 2022.

OTA Financial Group reported no remaining ClearBridge MLP and Midstream Fund Inc. position as of Q4 2022 after selling out during the quarter.
OTA Financial Group sold 33,999 ClearBridge MLP and Midstream Fund Inc. shares in Q4 2022, an estimated $1.01M.
OTA Financial Group first reported a position in ClearBridge MLP and Midstream Fund Inc. in Q3 2013 and held it in 5 quarters.
OTA Financial Group's ClearBridge MLP and Midstream Fund Inc. position peaked at $1.01M in Q3 2022.
75 funds tracked by Wall St. Rank held ClearBridge MLP and Midstream Fund Inc. as of Q4 2022.

Based on OTA Financial Group's 13F filing for Q4 2022, filed 9 Feb 2023.